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FINRA's annual snapshot shows how the wealth industry is changing, from key business metrics and marketing trends to shifts in registration and a shrinking branch footprint.
Copper Markets US will offer qualified custody, staking, financing and OTC services after securing its regulated US presence.Digital asset infrastructure provider Copper has establ...
I have run independent brokerages for more than twenty years, and one of the most common conversatio...
He paid $21,732 in obtained funds plus $25,000 to close the matter
The largest firm in the independent brokerage channel is also the fastest growing. But the industry's rapid expansion alongside rising equity values over the past three years may b...
Private equity firm New Mountain is selling the hybrid RIA back to its founding family after completing a CEO succession plan this June.
Brokerages are allowed to benefit from a deal — but fiduciary duty requires full disclosure, including unbiased data on the downsides of private listings.
A single advisor across deal origination, platform creation, capital formation, and transaction execution - built for private equity firms, family offices, independent sponsors, an...
Wintermute said the registration allows the firm to position itself for the growth of tokenized securities in the US.
One year after $300M deal, referrals through Robinhood that put younger investors in the pipeline and an ongoing clearing relationship with Wells Fargo reflect how TradePMR is a gr...
Executives from some of the largest firms in the channel — Ameriprise, Kestra Financial, Cetera, LPL Financial and Osaic — discuss how clearing and custody fits into their approach...
Under the proposed framework, these channel partners will be enlisted with stock exchanges and appointed by Online Bond Platform Providers (OBPPs) to distribute permitted fixed inc...
Blasting a deal to 50 lenders is a red flag, not a strategy, Weinberg warns
Over the past decade, the annual revenue gap between LPL and any other independent brokerage has soared to more than 100% from less than 1%. But that doesn't mean that the No. 1 fi...
Wintermute USA gained regulatory approval to expand into U.S. securities markets and institutional crypto services. Continue reading at DailyCoin.
William Sarris allegedly charged customers markups exceeding 200% on pre-IPO investments while misrepresenting prices and inventory to boost company revenue.
Jefferies Equity Research
Apex Fintech Solutions has launched a solution for brokers and fintech companies that are looking to expand their product sets with event contracts. The new API-based service allo...
As private equity-backed consolidators scale up across UK distribution, independent brokers are turning to professional accreditation to prove their credibility
Funded trading has stopped being a niche. Searches for "prop firm" have risen more than 50-fold since 2020, and category bellwether FTMO reported over 2.3 million trading accounts...
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